0001132716-12-000003.txt : 20120210
0001132716-12-000003.hdr.sgml : 20120210
20120210155059
ACCESSION NUMBER: 0001132716-12-000003
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20120210
DATE AS OF CHANGE: 20120210
EFFECTIVENESS DATE: 20120210
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: UBS OCONNOR LLC
CENTRAL INDEX KEY: 0001132716
IRS NUMBER: 061569842
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06327
FILM NUMBER: 12592711
BUSINESS ADDRESS:
STREET 1: ONE NORTH WACKER DRIVE 32ND FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3125256000
MAIL ADDRESS:
STREET 1: ONE NORTH WACKER DRIVE 32ND FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR/A
1
ubsocq211a2.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F COVER PAGE
THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON
June 30, 2011 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON December 31, 2011.
Report for the Calendar Year or Quarter Ended: June 30, 2011
Check here if Amendment [X]; Amendment Number: 2
This Amendment (Check only one.): [ ] is a restatement.
[X] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: UBS O'Connor LLC
Address: One North Wacker Drive, 32nd Floor
Chicago, IL 60606
13F File Number: 28-06327
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts
of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: CHARLES R. MATHYS
Title: CHIEF COMPLIANCE OFFICER
Phone: (312)525-6452
Signature, Place, and Date of Signing:
/s/ CHARLES R. MATHYS, CHICAGO, IL February 10, 2012
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 6
Form 13F Information Table Value Total: $243789
(x1000))
List of Other Included Managers: None
NAME OF TITLE CUSIP VALUE SHRS SH PUT INVEST OT VOTING AUTHOR
ISSUER OF (x OR / / MENT H SOLE S N
CLASS $1000) PRN PR CALL DISCRE M H O
AMT N TION GR A N
BJS WHO COM 05548J106 2518 50000 SH DEFINED 01 50000 0 0
DOLLAR COM 256743105 31604 428589 SH DEFINED 01 428589 0 0
LUBRIZOL COM 549271104 33490 250000 SH CALL DEFINED 01 250000 0 0
LUBRIZOL COM 549271104 103377 769921 SH DEFINED 01 769921 0 0
NATIONAL COM 637640103 52374 2128179 SH DEFINED 01 2128179 0 0
TIMBERLAND CLA 887100105 20426 475350 SH DEFINED 01 475350 0 0